AMLAC & Fraud - IIR
AMLAC & Fraud - IIR
AMLAC & Fraud - IIR
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Post-CONFERENCE Workshop<br />
Wednesday, OCTOBER 21, 2009<br />
Administrative Details<br />
© 2009 Institute for International Research, Inc. All rights reserved<br />
12:15-1:15 Lunch<br />
12:15pm-4:00pm<br />
Tactics for Developing an Interactive <strong>Fraud</strong> & Risk<br />
Assessment Program<br />
The development of an effective risk assessment program is largely<br />
dependent upon the thorough understanding of three specific aspects of<br />
compliance: the specific risk factors affecting your firm, the regulations<br />
specific to your line(s) of business, and the expectations of your regulators.<br />
In this interactive workshop session, you’ll hear from compliance<br />
professionals, auditors and regulators on the best practices for setting up an<br />
appropriate risk matrix.<br />
The workshop leaders and participants will then collaborate on a<br />
comprehensive AML & <strong>Fraud</strong> Prevention Program Document, which can be<br />
used as a best-practices guide for developing a risk assessment strategy.<br />
After the workshop, participants will be given a USER ID and Password to<br />
access the document which they will be able to download and customize to<br />
their particular business model.<br />
Leaders:<br />
David MacNair, Director, AML & <strong>Fraud</strong> Department, BARCLAYS CAPITAL<br />
Jack Sonnenschein, VP Enterprise Compliance Risk Management,<br />
AMERICAN EXPRESS<br />
Emily Borowski, AVP, Risk & Compliance, NOTRE DAME FEDERAL<br />
CREDIT UNION<br />
Grady Williams, VP, Chief Compliance Officer, NATIONWIDE BANK<br />
Russell Cronan, Sr., National Bank Examiner, BSA/AML Specialist,<br />
Compliance Policy, OCC<br />
4:00 Workshop Concludes<br />
Dates and Venue<br />
October 19-21, 2009<br />
New York Marriott Marquis<br />
1535 Broadway, New York, NY 10036<br />
Accommodations: A block of rooms will be held for a limited period of<br />
time at the New York Marriott Marquis. All hotel bookings must be made through our<br />
travel partner at the etouches internet booking site. Please visit www.etouches.com/iir<br />
to make your reservations. If you do not have web access, or need additional assistance,<br />
please call etouches at (800) 516.4265 or +1 (203) 431.8950. You can also send them<br />
an email at conf@etouches.com or fax them at +1 (203) 431.9305. The hotel will not<br />
accept individual calls for room reservations at the <strong>IIR</strong> negotiated group rate.<br />
DISCOUNTed CONFERENCE AIRFARE:<br />
For discount information on JetBlue flights please visit:<br />
www.iirusa.com/<strong>AMLAC</strong>/amlac-venue.xml<br />
Any disabled individual desiring an auxiliary aid for this conference should<br />
notify <strong>IIR</strong> at least 3 weeks prior to the conference in writing by faxing<br />
+1 (212) 661.6045.<br />
Complaint Resolution Policy: For more information regarding<br />
administrative policies such as complaint and refund, please contact our offices at<br />
(888) 670.8200 or +1 (941) 951.7885.<br />
CPE Sponsors<br />
Institute for International Research is registered with the National<br />
Association of State Boards of Accountancy (NASBA) as a sponsor of<br />
continuing professional education on the national Registry of CPE<br />
Sponsors. State boards of accountancy have final authority on the<br />
acceptance of individual courses for CPE credit. Complaints regarding registered<br />
sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth<br />
Avenue, Nashville, TN 37219-2417. Web site: www.nasba.org. For further information<br />
regarding <strong>IIR</strong>’s financial hardship policy, please contact Elizabeth Birnbaum at<br />
+1 (646) 895.7456 or via email at ebirnbaum@iirusa.com.<br />
Easy<br />
Ways to<br />
3Register<br />
Register<br />
Before<br />
7/17/09<br />
Call:<br />
Email:<br />
Web:<br />
<strong>AMLAC</strong><br />
Before<br />
8/21/09<br />
+1 888.670.8200 or<br />
+1 941.951.7885<br />
register@iirusa.com<br />
www.amlac.com<br />
Before<br />
9/25/09<br />
After<br />
9/25/09<br />
Conference Only $2,095 $2,295 $2,395 $2,495<br />
Conference + 1<br />
Workshop<br />
$2,495 $2,695 $2,795 $2,895<br />
Conference + 2<br />
Workshops<br />
$2,695 $2,895 $2,995 $3,095<br />
Special rates for MSB/Small Institution<br />
& Government*<br />
Conference Only $1,466 $1,607 $1,677 $1,747<br />
Conference + 1<br />
Workshop<br />
$1,747 $1,887 $1,957 $2,027<br />
Conference + 2<br />
Workshops<br />
$1,887 $2,027 $2,097 $2,167<br />
*Government Discounts:<br />
Must work for a government agency or regulatory authority, subject to <strong>IIR</strong> approval. No two discounts may<br />
be combined. Small Institutions/MSBs. Must work for a licensed money services business or at an institution<br />
with less than $500 million in assets. Subject to <strong>IIR</strong> approval<br />
Group Discounts Available: Please contact Dan Harju at<br />
+1 646.895.7439 for details. No two discounts can be combined.<br />
Group Rates available for Banks & Financial Institution Teams - Register 4 or more people<br />
at the same time to each receive 25% off of standard pricing.<br />
Can not be combined with any other discounts must register by phone. Not available to web registrations.<br />
Fee: The standard fee for attending <strong>IIR</strong>’s <strong>AMLAC</strong> and <strong>Fraud</strong> Forum is outlined on the<br />
registration form. This includes the luncheon and refreshments, and the conference<br />
documentation and materials submitted by the speakers. You may enclose payment with<br />
your registration or we will send an invoice. Payment is due within 30 days of registering.<br />
If registering within 30 days of the event, payment is due immediately. Payments can<br />
be made by check, Visa, MasterCard, Discover, Diners Club or American Express. Please<br />
make all checks payable to the “Institute for International Research, Inc.” and write the<br />
name of the delegate(s) on the face of the check, as well as our reference code: U2402.<br />
If payment has not been received prior to registration the morning of the conference, a<br />
credit card hold will be required.<br />
Cancellation Policy: If you need to make any changes or have any<br />
questions, please feel free to contact us via email at register@iirusa.com. Cancellations<br />
must be in writing and must be received by <strong>IIR</strong> prior to 10 business days before the start of<br />
the event. Upon receipt of a timely cancellation notice, <strong>IIR</strong> will issue a credit voucher for the<br />
full amount of your payment, which may be applied towards registration fees at any future<br />
<strong>IIR</strong> event held within 6 months after issuance (the “Expiration Date”). All credit vouchers<br />
shall automatically expire on the Expiration Date and shall thereupon become void.<br />
In lieu of issuance of a credit voucher, at your request, <strong>IIR</strong> will issue a refund less a $795<br />
processing fee per registration. Registrants are advised that no credit vouchers or refunds<br />
will be issued for cancellations received less than ten business days prior to start of the<br />
event, including cancellations due to weather or other causes beyond the Registrant’s<br />
control. <strong>IIR</strong> therefore recommends that registrants allow for unexpected delays in making<br />
travel plans. Substitutions are welcome at any time. If for any reason <strong>IIR</strong> decides to cancel<br />
this conference, <strong>IIR</strong> accepts no responsibility for covering airfare, hotel or other costs<br />
incurred by registrants, including delegates, sponsors, speakers and guests.<br />
Documentation Order: If you are unable to attend the program, or<br />
would simply like to order additional sets of documentation for your colleagues, they are<br />
available for $395 per set, including taxes, postage and shipping in the U.S. Please fill out<br />
the order form on the back of the brochure. The documentation is available two weeks<br />
after the conference takes place. CREDIT CARD PAYMENT ONLY.<br />
www.amlac.com<br />
U2402<br />
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